Compliance Officer, Compliance

About This Role

This Compliance Officer role involves ensuring that CITIC CLSA adheres to relevant laws, rules, and regulations by providing advisory services, training employees, and monitoring compliance. The officer will be part of the Central Compliance team, focusing on licensing, regulatory inquiries, investigations, surveys, and training.

Responsibilities

• Handle SFC licensing matters, including applications, terminations, notifications, and submission of annual returns in a timely manner
• Follow up with new joiners to complete their compliance declarations upon joining and annually
• Handle various notifications, including incidental or suspicious violations, and ensure SFC notification requirements are followed
• Maintain internal records, including training, policies and procedures, and licensing details
• Assist in compliance trainings
• Work with IT on system development and enhancement projects
• Promote ideas for process improvement and assist in their implementation
• Assist in providing information related to SFC regulatory inquiries, such as s181/182 requests, ad hoc investigations, surveys, and follow-up questions
• Handle internal and external auditors
• Perform tasks assigned by the manager from time to time

Requirements

• Master's degree in Business or related disciplines
• Fluent in English, Cantonese, and Putonghua (preferable)
• 1-2+ years within a securities or investment banking firm, big four or consulting firm, or regulatory body, in a compliance testing or internal audit capacity
• Sound knowledge of Hong Kong SAR markets and investment banking related regulatory requirements (SFC / HKMA)
• Proficient in MS Word and Excel with IT knowledge
• Strong communication and interpersonal skills
• Working relationships and experience with local regulators will be highly regarded

About the Company

CITIC CLSA's Compliance Department is responsible for ensuring the company complies with applicable laws, rules, and regulations.